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November 2021


#RTIAwards

RegTech Insight Awards - USA 2021 Categories and Descriptions

Nominations for RegTech Insight Awards – USA 2021 entries can be made by financial institutions, our Advisory Board and the RegTech solution providers themselves in the following categories:

Best Sell-Side Regulatory Data Solution

Vendors of solutions providing regulatory data (such as end-of-day pricing and intra-day reference data) to buy-side institutions such as banks, brokers, market makers and other corporates.

Best Buy-Side Regulatory Data Solution

Vendors of solutions providing regulatory and reference data and/or pricing services to buy-side institutions including asset managers, hedge funds etc.

Best Data Management Solution for Buy-Side Regulatory Compliance 

Vendors of systems targeting the capture, processing, cleaning, storing, integration and management of data for regulatory and compliance purposes, for buy-side firms.

Best Data Management Solution for Sell-Side Regulatory Compliance

Vendors of systems targeting the capture, processing, cleaning, storing, integration and management of data for regulatory and compliance purposes, for sell-side firms.

Best Reporting Solution for CFTC Reporting

Best vendor solution for CFTC derivatives reporting

Best Reporting Solution for Consolidated Audit Trail (CAT)

Best vendor solution for reporting to the Consolidated Audit Trail (CAT)

Best Data Solution for KYC

Vendors of solutions that assist clients to obtain, process, and manage data captured during KYC procedures

Best KYC Solution for Client On-Boarding

Vendor of solutions assisting clients with the specific and complex needs of KYC client onboarding

Best Vendor Solution for Sanctions and PEPs data

Vendors of solutions targeted at managing and meeting the specific data requirements of sanctions and PEPs

Best Transaction Cost Analysis Solution for Best Execution

Vendors of advanced trading analysis solutions – including reference data, trading intelligence for buy-side firms, analytics for buy-side firms

Best e-Comms Surveillance Solution

Vendors of solutions that provide voice and mobile message channels for regulatory compliance purposes

Best Vendor Solution for Financial Crime

Vendors of technology solutions that specifically address data challenges around financial crime and anti-money laundering

Best ESG Regulatory Solution

Vendors of solutions targeting ESG data collection, data analysis, risk management, disclosure and reporting

Best Regulatory Compliance Solution for IFR / IFD

Vendors of solutions targeting data collection, categorisation, capital calculation, and reporting requirements for investment firms within the scope of the directive and regulation

Best Data Solution for FRTB

Vendors of solutions targeted at managing and meeting the specific data requirements of the Fundamental Review of the Trading Book (FRTB)

Best Software Solution for FRTB

Vendors of software solutions that assist firms in meeting the specific regulatory, reporting and compliance requirements of the Fundamental Review of the Trading Book (FRTB)

Best Data Privacy Solution

Vendors of solutions assisting firms to manage and meet their obligations under the General Data Protection Regulation (GDPR)

Best Regulatory Compliance Solution for LIBOR

Vendors of solutions targeting the exposure of LIBOR instances across a firm and providing timely transition to alternative risk-free rates

Best Analytics Solution to Address Capital Requirements/Liquidity Risk

Vendors of analytic and platform solutions that help firms to understand and manage their capital and liquidity requirements

Best Vendor Solution for Managing Conduct Risk

Vendors of solutions that assist firms to measure, manage and monitor conduct risk and related exposures (including but not limited to risk identification, metrics and analytics, mitigation and control management).

Best Vendor Solution for Managing Operational Risk

Vendors of software and solutions designed to detect, monitor and analyse risks arising from internal operations, processes, employees and systems (including but not limited to risk identification and assessment, issues and action workflows, operational reporting, heat maps, external vendor feeds (such as loss data), analytics for risk evalation, and more).

Best Risk Calculation Engine for Regulatory Compliance

Vendors of solutions that assist banks to calculate specific risk models, including standardised and IRB approaches.

Best Vendor Solution for Tax Compliance

Vendors of solutions that assist clients to meet their tax compliance obligations

Best Solution for FATCA / CRS

Vendors of solutions targeted at managing and meeting the specific data requirements of FATCA / CRS

Best Compliance as a Service Solution

Managed service providers that help organisations to meet their regulatory compliance mandates through cloud solutions

Best Regulatory Reporting Solution

Vendors of solutions that assist firms in monitoring business activity, generating and/or submitting the necessary regulatory reports to regulators

Best Solution for Records Retention

Vendors of software solutions for records retention to assist firms with their record and document management obligations

Best AI Solution for Regulatory Compliance

Vendors that utilise innovative artificial intelligence technology to solve regulatory compliance challenges

Best Regulatory Alert Management Solution

Vendors of regulatory alert systems that assist firms in managing their compliance obligations

Best Innovative Technology for Regulatory Compliance

Vendors of solutions that utilise the most innovative and cutting edge technology to solve regulatory compliance challenges. Examples can include (but are not limited to) AI, machine learning, blockchain

Best Regulator Project of the Year

Vendors or consultancies running regulatory projects dedicated to North America

Best Regulatory Consultancy – North America

The best provider of regulatory advice and consultation services within North America